Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Thursday, February 28, 2008

SEC Open Meeting Agenda for March 4

The Agenda for the SEC's Open Meeting on Tuesday, March 4, 2008, at 10:00 a.m., includes the following items:

The Commission will consider whether to propose two new rules under the Investment Company Act concerning exchange-traded funds (ETFs). Proposed Rule 6c-11 would provide exemptions from restrictions of the Act, to permit ETFs to operate without the need to obtain individual exemptive orders from the Commission. The Commission also will consider related disclosure amendments, and rule revisions concerning fund of funds restrictions of that Act.
 
The Commission will consider whether to propose a rule directed at misrepresentations in connection with a seller's ability or intent to deliver securities by settlement date.
 

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